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Richard Gibson

LPL Financial LLC
26 Years of Experience
La Jolla, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Gibson is a registered investment advisor at LPL Financial LLC, based in La Jolla, CA, with 26 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3366 N Torrey Pines Ct Ste 314, La Jolla, CA, 92037

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2006
Settled
Customer Dispute
July 2004
Denied
Customer Dispute
November 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is affiliated with Stratos Wealth Partners and Guardtower Financial Services, providing investment advisory services. He also sells fixed insurance products through 3Mark Financial and Insurance Designers of America, dedicating minimal time to this activity, and is involved in real estate rental.

Employment History
Current Registrations
LPL Financial LLC
December 2024 - Present · 1 yr 10 mos
LPL Financial LLCBroker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Stratos Wealth Partners, LTD
September 2014 - December 2024 · 10 yrs 3 mos
Wells Fargo Advisors, LLC
January 2011 - October 2014 · 3 yrs 9 mos
Wells Fargo Advisors, LLCBroker
January 2011 - October 2014 · 3 yrs 9 mos
Wells Fargo Investments, LLCBroker
March 2007 - January 2011 · 3 yrs 10 mos
Wells Fargo Investments, LLC
March 2007 - January 2011 · 3 yrs 10 mos
Unionbanc Investment Services, LLC
January 2005 - March 2007 · 2 yrs 2 mos
Unionbanc Investment Services, LLCBroker
January 2005 - March 2007 · 2 yrs 2 mos
U.S. Bancorp Investments, INC.Broker
August 2000 - November 2004 · 4 yrs 3 mos
Prudential Securities IncorporatedBroker
September 1999 - May 2000 · 8 mos
State Registrations23 states
ARAZCACOFLHIILINLAMDMENCNJNVOKORPASDTNTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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